| COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 |
| | | VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
| 1LIFE HEALTHCARE INC | COM | 68269G107 | 24,492 | 561,100 | SH | | DFND | 1 | 561,100 | 0 | 0 |
| 21VIANET GROUP INC | SPONSORED ADS A | 90138A103 | 895 | 25,800 | SH | | DFND | 1 | 25,800 | 0 | 0 |
| ABBVIE INC | COM | 00287Y109 | 8,925 | 83,290 | SH | | DFND | 1 | 83,290 | 0 | 0 |
| ADVANCED ENERGY INDS | COM | 007973100 | 14,914 | 153,800 | SH | | DFND | 1 | 153,800 | 0 | 0 |
| AGNC INVT CORP | COM | 00123Q104 | 30,648 | 1,964,600 | SH | | DFND | 1 | 1,964,600 | 0 | 0 |
| AIRBNB INC | COM CL A | 009066101 | 1,468 | 10,000 | SH | | DFND | 1 | 10,000 | 0 | 0 |
| ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 4,572 | 19,647 | SH | | DFND | 1 | 19,647 | 0 | 0 |
| ALPHABET INC | CAP STK CL C | 02079K107 | 25,320 | 14,453 | SH | | DFND | 1 | 14,453 | 0 | 0 |
| AMAZON COM INC | COM | 023135106 | 15,083 | 4,631 | SH | | DFND | 1 | 4,631 | 0 | 0 |
| AMGEN INC | COM | 031162100 | 7,342 | 31,932 | SH | | DFND | 1 | 31,932 | 0 | 0 |
| ANGEL OAK FINL STRATEGIES IN | COM BEN INT | 03464A100 | 342 | 20,300 | SH | | DFND | 1 | 20,300 | 0 | 0 |
| ANNALY CAPITAL MANAGEMENT IN | COM | 035710409 | 36,850 | 4,360,900 | SH | | DFND | 1 | 4,360,900 | 0 | 0 |
| APELLIS PHARMACEUTICALS INC | COM | 03753U106 | 13,296 | 232,449 | SH | | DFND | 1 | 232,449 | 0 | 0 |
| APOLLO SR FLOATING RATE FD I | COM | 037636107 | 198 | 13,761 | SH | | DFND | 1 | 13,761 | 0 | 0 |
| APPLE INC | COM | 037833100 | 48,100 | 362,500 | SH | | DFND | 1 | 362,500 | 0 | 0 |
| ARES CAPITAL CORP | NOTE 3.750% 2/0 | 04010LAT0 | 3,077 | 3,000,000 | PRN | | DFND | 1 | 3,000,000 | 0 | 0 |
| AUTOHOME INC | SP ADR RP CL A | 05278C107 | 309 | 3,100 | SH | | DFND | 1 | 3,100 | 0 | 0 |
| BARINGS BDC INC | COM | 06759L103 | 11,829 | 1,285,726 | SH | | DFND | 1 | 1,285,726 | 0 | 0 |
| BAXTER INTL INC | COM | 071813109 | 11,442 | 142,600 | SH | | DFND | 1 | 142,600 | 0 | 0 |
| BILIBILI INC | SPON ADS REP Z | 090040106 | 1,166 | 13,600 | SH | | DFND | 1 | 13,600 | 0 | 0 |
| BK OF AMERICA CORP | COM | 060505104 | 28,767 | 949,092 | SH | | DFND | 1 | 949,092 | 0 | 0 |
| BROADCOM INC | COM | 11135F101 | 10,057 | 22,970 | SH | | DFND | 1 | 22,970 | 0 | 0 |
| CALAMOS LNG SHR EQT DYNAMIC | COM | 12812C106 | 1,400 | 80,300 | SH | | DFND | 1 | 80,300 | 0 | 0 |
| CARNIVAL CORP | UNIT 99/99/9999 | 143658300 | 26,701 | 1,232,740 | SH | | DFND | 1 | 1,232,740 | 0 | 0 |
| CARVANA CO | CL A | 146869102 | 28,545 | 119,164 | SH | | DFND | 1 | 119,164 | 0 | 0 |
| CENTER COAST BRKFLD MLP ENRG | SHS BEN INT | 151461209 | 715 | 75,464 | SH | | DFND | 1 | 75,464 | 0 | 0 |
| CENTRAL SECS CORP | COM | 155123102 | 2,247 | 68,828 | SH | | DFND | 1 | 68,828 | 0 | 0 |
| CHECKMATE PHARMACEUTICALS IN | COM | 162818108 | 19,353 | 1,332,397 | SH | | DFND | 1 | 1,332,397 | 0 | 0 |
| CITIGROUP INC | COM NEW | 172967424 | 22,641 | 367,190 | SH | | DFND | 1 | 367,190 | 0 | 0 |
| COMMUNITY HEALTHCARE TR INC | COM | 20369C106 | 22,715 | 482,159 | SH | | DFND | 1 | 482,159 | 0 | 0 |
| COVETRUS INC | COM | 22304C100 | 16,347 | 568,800 | SH | | DFND | 1 | 568,800 | 0 | 0 |
| CRISPR THERAPEUTICS AG | NAMEN AKT | H17182108 | 22,202 | 145,007 | SH | | DFND | 1 | 145,007 | 0 | 0 |
| CROWDSTRIKE HLDGS INC | CL A | 22788C105 | 16,164 | 76,310 | SH | | DFND | 1 | 76,310 | 0 | 0 |
| D R HORTON INC | COM | 23331A109 | 27,072 | 392,800 | SH | | DFND | 1 | 392,800 | 0 | 0 |
| DBX ETF TR | XTRACK HRVST CSI | 233051879 | 5,252 | 131,100 | SH | | DFND | 1 | 131,100 | 0 | 0 |
| DELAWARE ENHANCED GBL DIV & | COM | 246060107 | 1,027 | 105,426 | SH | | DFND | 1 | 105,426 | 0 | 0 |
| DTF TAX-FREE INCOME INC | COM | 23334J107 | 168 | 11,246 | SH | | DFND | 1 | 11,246 | 0 | 0 |
| DUFF & PHELPS SLT ENGY AND M | COM NEW | 26433F207 | 174 | 35,980 | SH | | DFND | 1 | 35,980 | 0 | 0 |
| DUFF & PHELPS UTIL CORP BD T | COM | 26432K108 | 3,258 | 325,100 | SH | | DFND | 1 | 325,100 | 0 | 0 |
| DYNATRACE INC | COM NEW | 268150109 | 4,777 | 110,400 | SH | | DFND | 1 | 110,400 | 0 | 0 |
| EATON VANCE FLTG RATE INCOM | COM SHS BEN INT | 278284104 | 1,597 | 102,698 | SH | | DFND | 1 | 102,698 | 0 | 0 |
| EATON VANCE FLTING RATE INC | COM | 278279104 | 259 | 19,664 | SH | | DFND | 1 | 19,664 | 0 | 0 |
| EATON VANCE SR INCOME TR | SH BEN INT | 27826S103 | 1,126 | 177,033 | SH | | DFND | 1 | 177,033 | 0 | 0 |
| ETF MANAGERS TR | ETFMG ALTR HRVST | 26924G508 | 16,207 | 1,129,386 | SH | | DFND | 1 | 1,129,386 | 0 | 0 |
| FIRST AMERN FINL CORP | COM | 31847R102 | 40,457 | 783,600 | SH | | DFND | 1 | 783,600 | 0 | 0 |
| FIRST TR SR FLG RTE INCM FD | COM | 33733U108 | 950 | 81,781 | SH | | DFND | 1 | 81,781 | 0 | 0 |
| FIVE9 INC | COM | 338307101 | 9,984 | 57,250 | SH | | DFND | 1 | 57,250 | 0 | 0 |
| FLEXION THERAPEUTICS INC | COM | 33938J106 | 14,381 | 1,246,150 | SH | | DFND | 1 | 1,246,150 | 0 | 0 |
| FUSION PHARMACEUTICALS INC | COM | 36118A100 | 4,693 | 399,399 | SH | | DFND | 1 | 399,399 | 0 | 0 |
| GAMCO GLOBAL GOLD NAT RES & | COM SH BEN INT | 36465A109 | 335 | 95,300 | SH | | DFND | 1 | 95,300 | 0 | 0 |
| GDL FD | COM SH BEN IT | 361570104 | 384 | 44,021 | SH | | DFND | 1 | 44,021 | 0 | 0 |
| GDS HLDGS LTD | SPONSORED ADS | 36165L108 | 8,933 | 95,395 | SH | | DFND | 1 | 95,395 | 0 | 0 |
| GOLUB CAP BDC INC | COM | 38173M102 | 11,645 | 823,525 | SH | | DFND | 1 | 823,525 | 0 | 0 |
| GOSSAMER BIO INC | COM | 38341P102 | 4,447 | 459,834 | SH | | DFND | 1 | 459,834 | 0 | 0 |
| GOSSAMER BIO INC | NOTE 5.000% 6/0 | 38341PAA0 | 3,170 | 3,500,000 | PRN | | DFND | 1 | 3,500,000 | 0 | 0 |
| GUGGENHEIM ENHANCED EQUITY I | COM | 40167B100 | 312 | 47,565 | SH | | DFND | 1 | 47,565 | 0 | 0 |
| GW PHARMACEUTICALS PLC | ADS | 36197T103 | 10,558 | 91,486 | SH | | DFND | 1 | 91,486 | 0 | 0 |
| HANCOCK JOHN INVT TR | TAX ADV GLB SH | 41013P749 | 956 | 172,930 | SH | | DFND | 1 | 172,930 | 0 | 0 |
| HERCULES CAPITAL INC | DBCV 4.375% 2/0 | 427096AF9 | 31 | 30,000 | PRN | | DFND | 1 | 30,000 | 0 | 0 |
| HERZFELD CARIBBEAN BASIN FD | COM | 42804T106 | 344 | 67,300 | SH | | DFND | 1 | 67,300 | 0 | 0 |
| HIGHLAND GLOBAL ALLOCATION F | COM | 43010T104 | 2,891 | 442,756 | SH | | DFND | 1 | 442,756 | 0 | 0 |
| HIGHLAND INCOME FD | HIGHLAND INCOME | 43010E404 | 2,750 | 267,533 | SH | | DFND | 1 | 267,533 | 0 | 0 |
| HOLOGIC INC | COM | 436440101 | 15,830 | 217,350 | SH | | DFND | 1 | 217,350 | 0 | 0 |
| IDEXX LABS INC | COM | 45168D104 | 1,240 | 2,481 | SH | | DFND | 1 | 2,481 | 0 | 0 |
| INVESCO DYNAMIC CR OPPORTUNI | COM | 46132R104 | 1,119 | 104,200 | SH | | DFND | 1 | 104,200 | 0 | 0 |
| JD.COM INC | SPON ADR CL A | 47215P106 | 1,433 | 16,300 | SH | | DFND | 1 | 16,300 | 0 | 0 |
| JPMORGAN CHASE & CO | COM | 46625H100 | 18,991 | 149,453 | SH | | DFND | 1 | 149,453 | 0 | 0 |
| KURA ONCOLOGY INC | COM | 50127T109 | 828 | 25,361 | SH | | DFND | 1 | 25,361 | 0 | 0 |
| LABORATORY CORP AMER HLDGS | COM NEW | 50540R409 | 16,545 | 81,280 | SH | | DFND | 1 | 81,280 | 0 | 0 |
| LAM RESEARCH CORP | COM | 512807108 | 14,050 | 29,750 | SH | | DFND | 1 | 29,750 | 0 | 0 |
| LAZARD GLOBAL TOTAL RETURN & | COM | 52106W103 | 430 | 24,132 | SH | | DFND | 1 | 24,132 | 0 | 0 |
| LENNAR CORP | CL A | 526057104 | 26,871 | 352,500 | SH | | DFND | 1 | 352,500 | 0 | 0 |
| LILLY ELI & CO | COM | 532457108 | 1,556 | 9,213 | SH | | DFND | 1 | 9,213 | 0 | 0 |
| LUMENTUM HLDGS INC | COM | 55024U109 | 11,774 | 124,200 | SH | | DFND | 1 | 124,200 | 0 | 0 |
| LYFT INC | CL A COM | 55087P104 | 10,352 | 210,700 | SH | | DFND | 1 | 210,700 | 0 | 0 |
| MASIMO CORP | COM | 574795100 | 751 | 2,800 | SH | | DFND | 1 | 2,800 | 0 | 0 |
| MASTERCARD INCORPORATED | CL A | 57636Q104 | 17,884 | 50,104 | SH | | DFND | 1 | 50,104 | 0 | 0 |
| MCKESSON CORP | COM | 58155Q103 | 13,405 | 77,075 | SH | | DFND | 1 | 77,075 | 0 | 0 |
| MICRON TECHNOLOGY INC | COM | 595112103 | 36,139 | 480,700 | SH | | DFND | 1 | 480,700 | 0 | 0 |
| MICROSOFT CORP | COM | 594918104 | 23,442 | 105,394 | SH | | DFND | 1 | 105,394 | 0 | 0 |
| MILLER HOWARD HIGH INC EQTY | COM SHS BEN IN | 600379101 | 1,415 | 182,600 | SH | | DFND | 1 | 182,600 | 0 | 0 |
| MIRATI THERAPEUTICS INC | COM | 60468T105 | 3,449 | 15,705 | SH | | DFND | 1 | 15,705 | 0 | 0 |
| MODERNA INC | COM | 60770K107 | 5,752 | 55,062 | SH | | DFND | 1 | 55,062 | 0 | 0 |
| NETEASE INC | SPONSORED ADS | 64110W102 | 1,037 | 10,825 | SH | | DFND | 1 | 10,825 | 0 | 0 |
| NEW ORIENTAL ED & TECHNOLOGY | SPON ADR | 647581107 | 966 | 5,200 | SH | | DFND | 1 | 5,200 | 0 | 0 |
| NEXPOINT STRATEGIC OPPORTES | COM NEW | 65340G205 | 572 | 54,358 | SH | | DFND | 1 | 54,358 | 0 | 0 |
| NUVEEN CR STRATEGIES INCOME | COM SHS | 67073D102 | 1,283 | 202,717 | SH | | DFND | 1 | 202,717 | 0 | 0 |
| NUVEEN DIVERSIFIED DIVID & I | COM | 6706EP105 | 359 | 40,900 | SH | | DFND | 1 | 40,900 | 0 | 0 |
| NUVEEN FLOATING RATE INCOME | COM | 67072T108 | 358 | 41,000 | SH | | DFND | 1 | 41,000 | 0 | 0 |
| NUVEEN REAL ASSET INCOME & G | COM | 67074Y105 | 206 | 15,293 | SH | | DFND | 1 | 15,293 | 0 | 0 |
| NUVEEN TAX-ADVANTAGED DIVID | COM | 67073G105 | 365 | 25,700 | SH | | DFND | 1 | 25,700 | 0 | 0 |
| NUVEEN TX ADV TOTAL RET STRG | COM | 67090H102 | 707 | 75,000 | SH | | DFND | 1 | 75,000 | 0 | 0 |
| PENNYMAC FINL SVCS INC NEW | COM | 70932M107 | 77,295 | 1,177,918 | SH | | DFND | 1 | 1,177,918 | 0 | 0 |
| PHYSICIANS RLTY TR | COM | 71943U104 | 11,104 | 623,800 | SH | | DFND | 1 | 623,800 | 0 | 0 |
| PINDUODUO INC | SPONSORED ADS | 722304102 | 10,554 | 59,400 | SH | | DFND | 1 | 59,400 | 0 | 0 |
| PIONEER FLOATING RATE TR | COM | 72369J102 | 260 | 25,528 | SH | | DFND | 1 | 25,528 | 0 | 0 |
| QORVO INC | COM | 74736K101 | 16,916 | 101,740 | SH | | DFND | 1 | 101,740 | 0 | 0 |
| QUEST DIAGNOSTICS INC | COM | 74834L100 | 28,902 | 242,525 | SH | | DFND | 1 | 242,525 | 0 | 0 |
| REGENERON PHARMACEUTICALS | COM | 75886F107 | 4,050 | 8,384 | SH | | DFND | 1 | 8,384 | 0 | 0 |
| REPARE THERAPEUTICS INC | COM | 760273102 | 9,638 | 280,979 | SH | | DFND | 1 | 280,979 | 0 | 0 |
| RINGCENTRAL INC | CL A | 76680R206 | 9,880 | 26,070 | SH | | DFND | 1 | 26,070 | 0 | 0 |
| ROYAL CARIBBEAN GROUP | COM | V7780T103 | 30,051 | 402,347 | SH | | DFND | 1 | 402,347 | 0 | 0 |
| ROYCE GLOBAL VALUE TR INC | COM | 78081T104 | 733 | 54,851 | SH | | DFND | 1 | 54,851 | 0 | 0 |
| SALIENT MIDSTREAM & MLP FD | SH BEN INT | 79471V105 | 798 | 186,772 | SH | | DFND | 1 | 186,772 | 0 | 0 |
| SEA LTD | SPONSORD ADS | 81141R100 | 9,252 | 46,480 | SH | | DFND | 1 | 46,480 | 0 | 0 |
| SIXTH STREET SPECIALTY LENDN | COM | 83012A109 | 14,279 | 688,127 | SH | | DFND | 1 | 688,127 | 0 | 0 |
| SMART GLOBAL HLDGS INC | SHS | G8232Y101 | 9,133 | 242,700 | SH | | DFND | 1 | 242,700 | 0 | 0 |
| SMILEDIRECTCLUB INC | CL A COM | 83192H106 | 9,051 | 758,000 | SH | | DFND | 1 | 758,000 | 0 | 0 |
| SPLUNK INC | COM | 848637104 | 6,196 | 36,470 | SH | | DFND | 1 | 36,470 | 0 | 0 |
| SQUARE INC | CL A | 852234103 | 13,980 | 64,235 | SH | | DFND | 1 | 64,235 | 0 | 0 |
| STARWOOD PPTY TR INC | NOTE 4.375% 4/0 | 85571BAH8 | 2,309 | 2,315,000 | PRN | | DFND | 1 | 2,315,000 | 0 | 0 |
| STEWART INFORMATION SVCS COR | COM | 860372101 | 9,870 | 204,100 | SH | | DFND | 1 | 204,100 | 0 | 0 |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 874039100 | 36,910 | 338,500 | SH | | DFND | 1 | 338,500 | 0 | 0 |
| TAL EDUCATION GROUP | SPONSORED ADS | 874080104 | 708 | 9,900 | SH | | DFND | 1 | 9,900 | 0 | 0 |
| TELADOC HEALTH INC | COM | 87918A105 | 4,704 | 23,525 | SH | | DFND | 1 | 23,525 | 0 | 0 |
| TESLA INC | COM | 88160R101 | 18,803 | 26,645 | SH | | DFND | 1 | 26,645 | 0 | 0 |
| THERMO FISHER SCIENTIFIC INC | COM | 883556102 | 26,154 | 56,152 | SH | | DFND | 1 | 56,152 | 0 | 0 |
| TRANSDIGM GROUP INC | COM | 893641100 | 23,337 | 37,711 | SH | | DFND | 1 | 37,711 | 0 | 0 |
| TWILIO INC | CL A | 90138F102 | 9,453 | 27,925 | SH | | DFND | 1 | 27,925 | 0 | 0 |
| TWO HBRS INVT CORP | NOTE 6.250% 1/1 | 90187BAA9 | 2,330 | 2,299,000 | PRN | | DFND | 1 | 2,299,000 | 0 | 0 |
| VANECK VECTORS ETF TR | PHARMACEUTICAL | 92189F692 | 21,962 | 330,400 | SH | | DFND | 1 | 330,400 | 0 | 0 |
| VERACYTE INC | COM | 92337F107 | 9,453 | 193,160 | SH | | DFND | 1 | 193,160 | 0 | 0 |
| VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 20,467 | 86,600 | SH | | DFND | 1 | 86,600 | 0 | 0 |
| VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 35,451 | 150,000 | SH | Call | DFND | 1 | 150,000 | 0 | 0 |
| VIRTUS GLOBAL DIVID & INCOME | COM | 92835W107 | 2,129 | 242,479 | SH | | DFND | 1 | 242,479 | 0 | 0 |
| VIRTUS GLOBAL MULTI-SECTOR I | COM | 92829B101 | 210 | 17,332 | SH | | DFND | 1 | 17,332 | 0 | 0 |
| VOYA GLBL ADV & PREM OPP FD | COM | 92912R104 | 528 | 60,339 | SH | | DFND | 1 | 60,339 | 0 | 0 |
| VOYA INFRASTRUCTURE INDLS & | COM | 92912X101 | 502 | 48,711 | SH | | DFND | 1 | 48,711 | 0 | 0 |
| VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 4,093 | 915,600 | SH | | DFND | 1 | 915,600 | 0 | 0 |
| WELLS FARGO GLOBAL DIVIDEND | COM | 94987C103 | 890 | 183,445 | SH | | DFND | 1 | 183,445 | 0 | 0 |
| WORKDAY INC | CL A | 98138H101 | 4,133 | 17,250 | SH | | DFND | 1 | 17,250 | 0 | 0 |
| ZAI LAB LTD | ADR | 98887Q104 | 15,637 | 115,540 | SH | | DFND | 1 | 115,540 | 0 | 0 |
| ZIMMER BIOMET HOLDINGS INC | COM | 98956P102 | 2,365 | 15,345 | SH | | DFND | 1 | 15,345 | 0 | 0 |
| ZOETIS INC | CL A | 98978V103 | 6,980 | 42,175 | SH | | DFND | 1 | 42,175 | 0 | 0 |
